DIVISIONAL/PRODUCT CONTROLLER - SENIOR VICE PRESIDENT
CPA/Finance professional with public/private experience including operations. Complete understanding of operational activities and system flows. Project leader on numerous initiatives. Provide direction to IT on business requirements for reporting and system enhancements. In depth knowledge of MISYS/ Loan IQ system.
10/2008 to 11/2014
Divisional/Product Controller - Senior Vice PresidentLehman Brothers Holdings － New York, NY
Corporate Loans and Residential Real Estate Managed a team responsible for Financial Reporting for $30B+ portfolio of Corporate Loans and Residential Real Estate, including Whole Loans, MBS and Commercial Real Estate.
Responsible for producing financial information for monthly and quarterly closes including; balance sheet reporting and quarterly roll forwards, monthly tracking of cash flow estimates and budget variances, reporting on 13F securities and monthly FX hedging report.
Various reporting for creditors and affiliates.
Produced Monthly Board of Directors package including P&L and cash flow analysis.
Prepared Management Discussion and Analysis which is included in Quarterly Balance Sheet filing.
Acted as a liaison between Finance/Accounting and Operations on the flow and explanation of transactions.
Worked with Markit to set up and maintain portfolio for monthly pricing.
Worked directly with Blackrock personnel on flow of information per Asset Management Agreement.
Maintenance and reporting of CLO's.
Direct report to the CFO of newly formed Legacy Asset Management Company (LAMCO).
Project leader for the implementation of SAS 70 Controls.
Worked with Protiviti and Ernst and Young to identify and set up new control procedures for the newly formed LAMCO.
Responsible for the Omnium/Northern Trust conversion.
Worked with various teams to complete the smooth transition of the Loan IQ platform onto the Omnium/Northern Trust environment.
Ensured the completeness and accuracy of positions and all reporting.
Worked with IT on the development of new reports.
Project leader for the on boarding, maintenance and reporting of the Lehman Collateral Disposition Portfolio of various securities received from JP Morgan including; Private Placements, Bonds, Equities and Warrants.
Set up structure and various procedures to ensure proper control and reporting of the portfolio.
Worked with Pricewaterhouse Coopers on tax project to determine P&L for prior years reporting to help mitigate the Lehman Estate tax liability.
Responsible for maintaining the integrity of the Loan IQ system, including table maintenance and accounting setup to ensure transactions flow correctly to the general ledger Great Plains.
Worked with internal and external counsel on various matters pertaining to Lehman legacy assets.
Worked with senior management on Claims resolution regarding the Estate.
Managed Residential Real Estate Product Control team and then subsequently assumed their responsibilities.
Set up new reporting and control procedures to create better clarity and improve the flow of information for Residential Real Estate Reporting of Whole Loans and Mortgage Backed Securities.
Worked with Operations team to onboard and setup structure onto Loan IQ for the Residential Real Estate products previously reported by Northern Trust.
11/1993 to 09/2008
ManagerLehman Brothers Holdings － New York, NY
Managed staff for all control phases of the Bank Loan Department including, Daily P&L for 8 Traders which included the following: High Yield and High Grade Bank Loans, Equities, Corporate Bonds, Credit Default Swaps, etc.; performed various reconciliations, mainframe system maintenance and data integrity.
Worked with IT to maintain and enhance the integrity of various systems including Misys Loan IQ, GQUEST, CATS, EAM, Pathfinder, TMS and ADP.
Project leader for implementation of Global Carry system for Bank Loan product.
Project leader for implementation of all IT initiatives, including Trade Date Accounting, STP and Delayed Comp.
Worked with Treasury Team in the creation of Treasury Structures and CLO's to enhance the firm's liquidity.
Interfaced with Balance Sheet Group, Finance, Accounting Policy, Regulatory, Legal and Compliance.
Acted as a liaison to outside mainframe vendor, MISYS, on all technical issues regarding Loan IQ system.
Primary contact for all internal and external Auditors.
Worked closely with the Loan Closing, Agency and Servicing Groups to resolve issues.
Worked on various Management and Trader projects.
High Grade Esoteric Private Placements Handled all aspects of revenue reporting, daily P&L and monitoring for the High Grade/High Yield Loans.
Analyzed Private Placement deal documents in order to assess steps necessary to close deals in a timely manner.
Worked directly with Trading, Portfolio Managers, Legal Counsel and Custodians on the flow of documentation.
Prepared and analyzed legal letters (i.e.
Rep Letter and Big Boy Letter) to reduce the firm's exposure to risk.
Maintained strong client relations to further enhance the firm's strong presence in this specialized market.
Trade Analysis/Finance - Fixed Income Prepared and analyzed daily P&L for various trading desks including, Preferred Stock, Corporate Bonds, Municipal Bonds, Emerging Markets and Money Markets.
Heavy interaction with Trading Desks, Risk Management, Accounting, Tax, Regulatory, Legal, etc.
Monitored and verified mark positions to outside sources.
Monitored and reported the Balance Sheet for various trading desks.
Prepared Daily and Monthly highlights of trading revenues and market analyses for each desk.
Prepared various analytical and revenue reports and worked on special projects for trading and management.
Worked closely with IT to create and develop new reporting tools and on the development and testing of current system enhancements.
Instrumental in improving and streamlining various daily and monthly procedures.
Performed monthly reconciliation of general ledger to P&L management reporting system.
07/1989 to 11/1993
Senior AuditorErnst & Young － New York, NY
Planned and managed audit engagements, including the development of audit objectives and strategies.
Determined fee estimates and created audit plans and audit programs that addressed financial statement risks.
Prepared and reviewed audit work papers and advised client management on significant accounting and business issues identified during audit engagements.
Managed audit staff and prepared written performance reviews.
Clients included; Banks, Hedge Funds, Manufacturing and Retail, Insurance and Advertising.
Education and Training
Bachelor of Science: Accounting/EconomicsCity University of New York, Brooklyn College － Brooklyn, NYAccounting/Economics
Certified Public Accountant, New York
Advertising, Asset Management, cash flow analysis, cash flow, Equities, filing, Financial Reporting, general ledger, mainframe, Public Accountant, Risk Management, SAS